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Given the current regulatory landscape, it is important to know the key developments that may affect your organisation. I am delighted to share our latest Compliance Communiqué to apprise you of the latest regulatory changes and updates, so your institution will have the necessary policies, procedures and processes in place to ensure compliance.
Jehan Jeyaretnam – Head of Compliance Services
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Blog: A deep dive into the SEC’s new marketing rule
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Blog: Digital ESG communications from a compliance perspective
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All advisory firms have updated their compliance programmes to meet the 4 November 2022 deadline of complying with the Securities and Exchange Commission’s (SEC) new marketing rule.
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An environmental, social and governance (ESG) framework helps shareholders recognise how an organisation handles risks and opportunities associated with ESG investments.
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Impact Story: Investment compliance support for a global asset manager |
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Impact Story: Advertising material review support for a British global asset management group |
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Acuity helped a global asset manager to perform biennial reviews of all investment restrictions across its accounts. Read on to know more.
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Know more how Acuity helped a British asset manager review 4x advertising material with 50% reduction in compliance costs
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Solution showcase
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| Investment Compliance |
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Customer Due Diligence
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Ensuring rule coding is consistent, accurate, efficient, to agreed coding standards and reconciles with the investment guidelines
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Our KYC-managed services enable organisations to stay ahead of the regulatory curve by bringing deep domain expertise and industry-led capabilities to provide integrated KYC lifecycle management.
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Regulatory updates
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A US-based crypto exchange was fined USD24m by US authorities for helping clients evade US sanctions in regions such as Syria, Iran and Crimea. (Read more)
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The Financial Conduct Authority announced the formation of a group to develop a Code of Conduct for ESG data and ratings providers. (Read more)
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The SEC is proposing a new rule under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services or functions without first meeting the prescribed minimum requirements. (Read more)
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The European Securities and Markets Authority, the EU’s financial markets regulator and supervisor, has issued its advice on proposed leveraged limits by the Central Bank of Ireland on Irish real estate funds (Read more)
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ABOUT ACUITY KNOWLEDGE PARTNERS
Acuity Knowledge Partners (Acuity), formerly part of Moody’s Corporation, is a leading provider of bespoke research, analytics, staffing and technology solutions to the financial services sector.
Headquartered in London, Acuity Knowledge Partners has nearly two decades of experience in servicing over 490+ clients by deploying its 4,800+ specialist workforce of analysts and delivery experts across its global delivery network. We provide our clients with unique assistance to innovate, implement transformation programmes, increase operational efficiency, and manage costs and improve their top lines. These services are supported by our proprietary suite of Business Excellence and Automation Tools (BEAT) that offer domain-specific contextual technology. Acuity Knowledge Partners is backed by Equistone Partners Europe, a leading private equity organisation that backs specialist growth businesses and management teams.
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| | | | | | US: +1 929 618 0217 +1 646 842 0641 | UK: +020 7550 4499 | contact@acuitykp.com | |
| | | | | | | | | | ©2022 Acuity Knowledge Partners. All rights reserved. | |
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